Laura T. Daly

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CRD#: 4185116

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Laura T Daly, who also goes by Laura Teresa Gallo, was a registered financial professional .

Laura is a previously registered financial professional and started their career in finance in 2000. Laura had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Laura Teresa Gallo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 12, 2009 - August 16, 2016

ROMANO BROTHERS AND COMPANY

RIA

CRD#: 3215

EVANSTON, IL

Past

August 12, 2009 - August 16, 2016

ROMANO BROTHERS AND COMPANY

CRD#: 3215

EVANSTON, IL

Past

October 30, 2006 - February 17, 2009

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

CHICAGO, IL

Past

August 7, 2000 - February 17, 2009

CHARLES SCHWAB & CO., INC.

CRD#: 5393

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROMANO BROTHERS AND COMPANY

ROMANO BROTHERS & CO. | ROMANO WEALTH MANAGEMENT | ROMANO BROTHERS AND COMPANY

CRD#: 3215 / SEC#: 801-27061, 8-14213

RIA

Registered Investment Advisory firm - SEC (5/23/1986 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/9/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/24/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/16/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/6/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/17/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

ROMANO BROTHERS AND COMPANY

ROMANO BROTHERS & CO. | ROMANO WEALTH MANAGEMENT | ROMANO BROTHERS AND COMPANY

CRD#: 3215 / SEC#: 801-27061, 8-14213

RIA

Registered Investment Advisory firm - SEC (5/23/1986 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1560 Sherman Avenue Ste 1300, Evanston, IL 60201

Mailing Address

1560 Sherman Avenue Suite 1300, Evanston, IL 60201

Phone number

(847) 866-7700

Established

Illinois since 08/01/1963

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (26 States and Territories)

FINRA licenses (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 PLUS BROCHURE SUPPLEMENT (1/31/2025)

WRAP PROGRAM BROCHURE (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
ROMANO, JOSEPH RICHARDVIKTORY	PRESIDENT	2659164
ROMANO, RICHARD CONSTANTINO	CHAIRMAN	403390
BEDERMAN, ERIC ARTHUR	CFO/CCO	2074318
GEISSER, DOUGLAS NORMAN	VICE PRESIDENT	1137506

Regulatory assets under management

Total Number of Accounts	2,015
AUM (Assets Under Management)	$ 1,388,470,813

Disclosures

Regulatory Event	1
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/25/2024	Cover Page	Report
07/31/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Laura T. Daly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROMANO BROTHERS AND COMPANY

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

ROMANO BROTHERS AND COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 3/9/2006

Series 63

Date: 8/24/2000

SIE

Date: 8/16/2016

Series 7

Date: 8/5/2000

Series 10

Date: 3/6/2004

Series 9

Date: 1/17/2004

Current Firm

ROMANO BROTHERS AND COMPANY

Contact information

SEC notice filing (26 States and Territories)

FINRA licenses (38 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROMANO BROTHERS AND COMPANY

TRUST BUT VERIFY

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